Reference Data & Controls

Role Description

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

SMBC Nikko Securities America, Inc. is a member of the Sumitomo Mitsui Financial Group (SMFG), one of the world's largest global financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional clients, focusing on North America and Latin America.

The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to provide operational support to the Fixed Income Securities business. This role is an extension of the broader New York based Securities Operations team. The role reports to the Head of Middle Office and Settlements to ensure a seamless operational support model between the New York and Charlotte offices.

This position will be located in our Charlotte office.

Role Objectives

• Work closely with Broadridge BPO to ensure accurate and timely setup of data requests
• Serve as primary contact for Broadridge BPO and SMBC stakeholders on matters of customer and static data
• Maintain static data related to counterparty contacts and payment instructions
• Proactive management and timely escalation of emerging risks/issues
• Work with Client Onboarding Team to comply with internal client data management
• Responsible for the creation and distribution of all confirms and statements (automated through Broadridge services)
• Preparation of metrics and other reports as required
• Partner with the New York Securities Operations team to ensure an environment of tight controls, regulatory compliance and continuous product and process education
• Assistance with projects/initiatives related to enhancing current processes and controls, including planning and implementation

Core Competencies/Skills:

• Excellent verbal and written communication skills with ability to articulate concepts and ideas to diverse audiences
• Strong organizational skills
• High level customer service mindset with a commitment to supporting key stakeholders
• Ability to work under pressure and deliver results within tight timelines
• Ability to identify and assess problems, determine the root cause and propose recommendations and/or solutions
• Ability to utilize independent judgement and decision making
• Ability to multitask and deliver high quality results in a fast-paced environment

Qualifications and Skills

• Minimum 5 years of experience in Financial Services
• 2+ years of experience working in client/static data management
• BA/BS preferably in Finance or Economics
• Proficiency in Bloomberg TOMS, DTCC Alert, Pershing Netx360, FICC, Broadridge IMPACT
• Proficiency in Microsoft Office applications